Compliance Associate


Compliance Associate
San Frrancisco, CA
At First Republic, we care about our people. We offer extraordinary client service in private banking, private business banking, and private wealth management. Founded in 1985, we believe that personal connections are everything and our success is driven by the relationships we form with our colleagues and clients. You’ll always feel empowered and valued at First Republic. 
Incredible teams doing exceptional work, every day.
The Compliance Associate will work independently, or as a member of a team, to complete scheduled regulatory compliance reviews that test the Bank’s compliance with several consumer-based lending and deposit laws and regulations including RESPA, TILA, ECOA, HMDA, Flood Disaster Protection Rules, Reg D, Reg E, and Reg CC, among others.  The Compliance Associate is expected to effectively communicate findings and recommendations to stakeholders, and assist with ad-hoc compliance validation projects as they arise.  The Compliance Associate is a vital contributor to the Bank’s compliance management program, and key to ensuring the Bank successfully complies with consumer protection laws and regulations.

Duties and Responsibilities

What you'll do as a Compliance Associate:
- Identify and utilize various internal (e.g. compliance team members, shared drive, intranet) and external resources (e.g. training seminars, regulatory/examiner websites and publications) to understand the requirements of applicable regulations.
- Apply the knowledge and understanding of regulatory requirements to ensure internal testing procedures are comprehensive and up-to-date.
- Review business unit policies and procedures to determine whether they adequately address compliance requirements, and identifying enhancements, as appropriate.
- Work with applicable stakeholders to identify appropriate and reliable sources of data for transaction testing.
- Select appropriate samples for transaction testing, using regulatory and internal guidelines.
- Complete detailed regulatory compliance reviews through transaction testing, completion of testing work papers, and any other necessary methods to compare sample data with regulatory and procedural requirements.
- Use judgment and insight to identify exceptions and anomalies.
- Identify potential process improvements aimed at improving business unit’s regulatory compliance.
- Present and clearly explain findings to stakeholders, both in writing and in-person, by summarizing the context and basis for conclusions.
- Draft clear and concise written reports summarizing key findings, observations, and overall conclusions for each regulatory compliance review.
- Ensure that conclusions are well-supported and appropriately documented in work papers.
- Track and validate business unit’s corrective action/remediation efforts.
- Participate in remediation/validation projects, as needed, to support the Bank’s compliance management program.
- Responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, 2) adhering to Bank policies and procedures, 3) completing required training.
What skills you will use:
- Bachelor’s Degree or equivalent experience, required.
- Minimum of 2 years of regulatory compliance and/or bank supervision experience in an audit or testing role.
- Demonstrated knowledge of consumer related lending and deposit regulations.
- Strong attention to detail, with the ability to identify anomalies.
- Ability to work effectively on a team, as well as independently.
- Strong written and verbal communication skills.
- Ability to provide extraordinary service and further First Republic Bank’s culture and values.
- Strong working knowledge of MS Word / MS Outlook / MS Visio / MS PowerPoint / MS Excel.


- Must be able to review and analyze data reports and manuals; must be computer proficient.
- Must be able to communicate effectively via telephone and in person.
- Must be able to travel as position requires.
- May be required to lift 25-50 lbs.
Are you a good fit?
Are you willing to take initiative and make decisions?  Are you willing to go the extra mile because you love what you do and how you can contribute as a team?   Do you want the freedom to grow and the opportunity to take charge of your own career?  If so, then come join us.   
Apply now
We want hard working team players. You’ll have the independence to learn, lead and drive change. A culture of extraordinary service, empowerment and stability—that’s the First Republic way.
This job description is not intended to be all-inclusive. Employee may perform other related duties as assigned to meet the ongoing needs of the organization.  The Company is an equal opportunity employer.  In this regard, the Company makes reasonable accommodations for qualified applicants and employees with disabilities in order to enable them to perform all essential job functions, unless doing so creates an undue hardship.
First Republic is subject to federal laws that restrict the employment of individuals with certain types of criminal histories, including FDIA Section 19 and FINRA. To the extent not inconsistent with our obligations under those federal laws and regulations, First Republic will consider qualified candidates with criminal histories in a manner consistent with the Los Angeles and San Francisco ban-the-box laws.

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